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GC

Guggenheim Capital Portfolio holdings

AUM $12.9B
1-Year Est. Return 27.3%
This Fund
S&P 500
This Quarter Est. Return
+5.8%
1 Year Est. Return
+27.3%
3 Year Est. Return
+83.37%
5 Year Est. Return
+104.66%
10 Year Est. Return
+359.15%
AUM
$42.2B
AUM Growth
-$360M
Cap. Flow
-$2.32B
Cap. Flow %
-5.5%
Top 10 Hldgs %
7.6%
Holding
2,945
New
147
Increased
1,226
Reduced
1,320
Closed
236

Top Buys

Rank Stock Value
1
LQD icon
iShares iBoxx $ Investment Grade Corporate Bond ETF
LQD
+$859M
2
AAPL icon
Apple
AAPL
+$61.2M
3
NCLH icon
Norwegian Cruise Line
NCLH
+$56M
4
VRTX icon
Vertex Pharmaceuticals
VRTX
+$55.7M
5
EVHC
Envision Healthcare Holdings Inc
EVHC
+$40.4M

Top Sells

Rank Stock Value
1
HYG icon
iShares iBoxx $ High Yield Corporate Bond ETF
HYG
+$106M
2
ULQ
CLAYMORE US CAPITAL MARKETS MICRO-TERM FIXED INCOME ETF
ULQ
+$84.5M
3
BCR
CR Bard Inc.
BCR
+$53.6M
4
AMAT icon
Applied Materials
AMAT
+$37.5M
5
LVLT
Level 3 Communications Inc
LVLT
+$37.4M

Sector Composition

Rank Sector Weight
1 Technology 14.48%
2 Financials 12.95%
3 Healthcare 12.03%
4 Industrials 10.73%
5 Consumer Discretionary 10.33%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
BCS icon
2601
Barclays
BCS
$93.8B
$109K ﹤0.01%
10,476
-2,298
-18% -$22.3K
EPM icon
2602
Evolution Petroleum
EPM
$129M
$104K ﹤0.01%
15,247
+4,810
+46% +$33.8K
ORC
2603
Orchid Island Capital
ORC
$1.29B
$101K ﹤0.01%
2,207
-338
-13% -$16.6K
KNDI
2604
Kandi Technologies Group
KNDI
$69.9M
$98K ﹤0.01%
14,481
+2,264
+19% +$16.9K
IPI icon
2605
Intrepid Potash
IPI
$447M
$97K ﹤0.01%
2,013
-318
-14% -$12.4K
PMTS icon
2606
CPI Card Group
PMTS
$252M
$93K ﹤0.01%
25,529
-501
-2% -$2.46K
ENZ
2607
DELISTED
Enzo Biochem, Inc.
ENZ
$93K ﹤0.01%
11,521
-1,810
-14% -$17.3K
ABR icon
2608
Arbor Realty Trust
ABR
$993M
$92K ﹤0.01%
10,693
-1,714
-14% -$14.6K
CPRX
2609
DELISTED
Catalyst Pharmaceutical
CPRX
$91K ﹤0.01%
23,516
-3,728
-14% -$12.3K
AXTI icon
2610
AXT Inc
AXTI
$4.49B
$88K ﹤0.01%
10,167
-1,615
-14% -$14.8K
DNR
2611
DELISTED
Denbury Resources, Inc.
DNR
$86K ﹤0.01%
39,229
-17,335
-31% -$27.3K
JMEI
2612
DELISTED
Jumei International Holding Limited American depositary shares, each representing ten Class A ordina
JMEI
$86K ﹤0.01%
2,956
+753
+34% +$22.1K
CDXS icon
2613
Codexis
CDXS
$156M
$84K ﹤0.01%
10,184
-1,620
-14% -$11.2K
NE
2614
DELISTED
Noble Corporation
NE
$84K ﹤0.01%
18,730
-625,279
-97% -$2.59M
ACGN
2615
DELISTED
Aceragen Inc
ACGN
$82K ﹤0.01%
285
-29
-9% -$8.28K
AMPE
2616
DELISTED
Ampio Pharmaceuticals Inc.
AMPE
$80K ﹤0.01%
66
-11
-14% -$5.17K
CDR
2617
DELISTED
Cedar Realty Trust, Inc
CDR
$78K ﹤0.01%
1,921
-288
-13% -$11.2K
MEET
2618
DELISTED
The Meet Group, Inc. Common Stock
MEET
$78K ﹤0.01%
28,244
+7,773
+38% +$23.1K
UEC icon
2619
Uranium Energy
UEC
$4.93B
$72K ﹤0.01%
41,623
-6,673
-14% -$9.38K
TTI icon
2620
TETRA Technologies
TTI
$1.15B
$69K ﹤0.01%
15,666
-11,359
-42% -$39.1K
VATE icon
2621
INNOVATE Corp
VATE
$99.6M
$69K ﹤0.01%
1,181
-193
-14% -$10.4K
XXII
2622
22nd Century Group
XXII
$1.45M
– –
0
– –
GST
2623
DELISTED
Gastar Exploration Inc.
GST
$67K ﹤0.01%
64,425
-10,552
-14% -$9.18K
ZIXI
2624
DELISTED
Zix Corporation
ZIXI
$64K ﹤0.01%
14,911
-2,428
-14% -$11.4K
AVEO
2625
DELISTED
AVEO Pharmaceuticals, Inc.
AVEO
$64K ﹤0.01%
2,294
+230
+11% +$7.14K
103 104
105
106 107

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AIM
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Fundsmith LLP
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CII
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AAMU
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NMIFOAC
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WANY
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ACA
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Guggenheim Capital's Q4 2017 Portfolio in Review

As of Q4 2017, Guggenheim Capital held 2,945 positions worth $42.2B, down 0.85% from $42.6B the previous quarter. Its ten largest holdings account for 7.6% of the portfolio.

Guggenheim Capital withdrew a net $2.32B in Q4 2017, closing 236 positions and reducing 1,320 holdings. Its most notable exit was CLAYMORE US CAPITAL MARKETS MICRO-TERM FIXED INCOME ETF, an estimated $84.5M position sold in full.

By sector, the portfolio is most concentrated in Technology at 14% of assets, up from 13% a quarter earlier, followed by Financials and Healthcare.

Against the trend, Guggenheim Capital opened a new position in iShares China Large-Cap ETF worth $18M.

  • Guggenheim Capital's largest Q4 2017 buy was iShares China Large-Cap ETF: 389,755 shares worth $18M.
  • Guggenheim Capital added most to iShares iBoxx $ Investment Grade Corporate Bond ETF in Q4 2017, an estimated $859M increase.
  • Guggenheim Capital's biggest Q4 2017 reduction was iShares iBoxx $ High Yield Corporate Bond ETF, cutting an estimated $106M.
  • Guggenheim Capital fully exited CLAYMORE US CAPITAL MARKETS MICRO-TERM FIXED INCOME ETF in Q4 2017, selling an estimated $84.5M.
  • Guggenheim Capital's ten largest holdings make up 7.6% of its $42.2B portfolio in Q4 2017.
  • Guggenheim Capital opened 147 new positions and closed 236 in Q4 2017.
  • Guggenheim Capital's portfolio value fell 0.85% quarter-over-quarter to $42.2B.

Based on Guggenheim Capital's 13F filing for Q4 2017, filed 14 Feb 2018.